FINRA Disciplinary Actions March 2022
IAN MICHAEL PIERCE (CRD #6205487, WEST HARTFORD, CONNECTICUT) February 23, 2022 – An AWC was issued in which Pierce was barred from association with any …
FINRA Disciplinary Actions February 2022
JOSHUA DAVID NICHOLAS (CRD #6529944, STUART, FLORIDA) January 24, 2022 – An AWC was issued in which Nicholas was barred from association with any FINRA …
FINRA Fraud: Wells Fargo Manipulated Investor Arbitration Process?
In a bombshell decision, Atlanta’s Fulton County Superior Court has vacated an arbitration award to Wells Fargo Advisors LLC and Wells Fargo Clearing Services LLC …
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FINRA Disciplinary Actions January 2022
JASON PATRICK HAMBY (CRD #3089278, BLACKSBURG, VIRGINIA) December 22, 2021 – An AWC was issued in which Hamby was barred from association with any FINRA …
FINRA Disciplinary Actions December 2021
MURRAY TODD PETERSEN (CRD #1311730, ROSEVILLE, CALIFORNIA) November 22, 2021 – An AWC was issued in which Petersen was barred from association with any FINRA …
Boardroom Blues: Why Renegotiating C-Suite Positions Is Essential for Women
The US has taken major strides to improve gender equality over the past several decades. Women are claiming their autonomy in every field, from winning …
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Proposed Legislation May Provide California Entertainers with Better Labor Protections
Entertainment is known to be a brutal industry. In crowded markets like California, entertainers have so much competition that they are willing to accept poor …
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November 2021 FINRA Disciplinary Actions
DAEMON L. JOHNSON (CRD #7168475, BLOOMFIELD HILLS, MICHIGAN) October 28, 2021 – An AWC was issued in which Johnson was barred from association with any …
Girard Bengali, APC, Investigating Christopher Booth Kennedy and Western International Securities, Inc.
October 14, 2021 – Girard Bengali, APC is currently investigating former Western International Securities advisor Christopher Booth Kennedy for potentially engaging in unauthorized trading in …
Going Nowhere Fast: The Continuing Gendered Pay Gap in Financial Services
Women have been fighting for equal rights for centuries. In the US, the women’s rights movement can be traced back to the 19th century, when …
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